Reducing Risk and Ensuring Success through
Operational Excellence

Processes and Technology Annually Submitted to Compliance Examinations

With the ever-increasing growth of data and digital technologies, financial organizations today find themselves exposed to new risks and vulnerabilities – from cyber-threats to greater regulatory oversight. NES Financial is uniquely positioned to help clients address these challenges. Every year, we voluntarily undergo rigorous third-party compliance examinations of our technologies, procedures, and control objectives. It is part of an unwavering commitment to minimize risk and maximize success for our clients.

SSAE 16

Formerly known as SAS 70, the SSAE 16 SOC 1 Type II examination is a recognized compliance and controls standard used by leading banks and service providers across the financial industry. NES Financial’s examination includes controls over technology, information, financial processes, security, and other protected data. Conducted by one of the leading CPA firms in the country, the examination reviews how NES Financial operates across its key markets, including EB-5 and 1031 exchanges.

AML, OCC,
and BSA

As a vendor to banks and other financial institutions, NES Financial meets the third-party vendor requirements of these financial institutions. This includes maintaining a robust Business Continuity Plan that is tested annually.

Cyber and
Physical Security

Network vulnerability testing, intrusion testing, penetration testing, and simulated cyber-attacks are performed annually by a leading firm to ensure that our security controls can handle the latest types of attacks.

Social Engineering

As security of computer systems has improved, it is often easier to hack people. We regularly train our employees on how to detect and handle these types of attacks. Frequent, unscheduled social engineering tests are performed on our employees to keep them alert and to provide additional training opportunities.